Introduction to SMCR: The Senior Managers and Certification Regime
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Author: Robert Bell
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Level: All Levels
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Study time: 25 mins
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Course overview
This course provides a clear, practical introduction to SMCR—what it is, why it was introduced, and its impacts.
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Video time: 5 mins 15 seconds
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Exams: 1
What's included?
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5 Chapters
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1 Certificate
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15 Questions
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2 Videos
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32 PDF
Understand SMCR
You will learn why the regulators implemented the regime, and how its designed to ensure that customers are treated fairly and the markets remain stable.
SMCR is a critical element of the FCA's current regulatory framework.
SMCR is a critical element of the FCA's current regulatory framework.
What You'll Learn
- Understand how SMCR supports better governance, accountability, and trust in financial services
- Learn what’s expected of you under the Conduct Rules and how they apply day-to-day
- Get clarity on key concepts like SMFs, Statements of Responsibilities, Certification, and reasonable steps
- Equip yourself to contribute to a compliant, responsible, and well-run firm
Robert Bell
Compliance Expert, instructor, writer.
ABOUT Robert
Robert Bell has over 17 years of experience in FCA compliance. Graduating with LLB in Law, Robert has a wealth of on-the-ground experience with financial services firms of all types and sizes.
As a compliance consultant, he has supported a number of firms in achieving FCA authorisation and helped organisations weather the storms of the changing compliance landscape over the past two decades.
Working with the CSA, MBL and MALG, he enjoys helping learners and experts alike to build best practice, particularly in newly emerging areas of regulation and law. He is the author of “A Practical Guide to the Financial Conduct Authority (FCA) Consumer Duty – Law Brief Publishing” (2024).
As a compliance consultant, he has supported a number of firms in achieving FCA authorisation and helped organisations weather the storms of the changing compliance landscape over the past two decades.
Working with the CSA, MBL and MALG, he enjoys helping learners and experts alike to build best practice, particularly in newly emerging areas of regulation and law. He is the author of “A Practical Guide to the Financial Conduct Authority (FCA) Consumer Duty – Law Brief Publishing” (2024).